Ohio Department of Commerce Division of Liquor Control 6606 Tussing Road, P.O. Box 4005, Reynoldsburg, Ohio Questions on Status of Application - (614) 644-3155 General Questions - (614) 644-2411 Office Hours - 8:00 - 5:00 http://www.com.ohio.gov/liqr APPLICATION FOR MANUFACTURER, BREWPUB, OR WAREHOUSE (WITH OPTION FOR D6) PERMIT CAUTION: ALLOW 6 TO 8 WEEKS FOR PROCESSING THE FOLLOWING ITEMS MUST BE SUBMITTED FOR YOUR APPLICATION TO BE ACCEPTED FOR PROCESSING A. Application Processing Fee of $100.00 when filing for an A1, A1A, D6, A3, A3A, A4 or W. Class Fee. B. Application completed in its entirety, notarized and signed. C. If Individual, list Social Security Number on line provided. D. If Partnership, you must submit a completed DLC form 4031, along with a copy of the Partnership Agreement. E. If Corporation, you must submit a completed DLC form 4030. F. If Limited Liability Company, you must submit a completed DLC form 4032. Please be advised that any social security numbers provided to the Division of Liquor Control in this application may be released to the Ohio Department of Public Safety, the Ohio Department of Taxation, the Ohio Attorney General, or to any other state or local law enforcement agency if the agency requests the social security number to conduct an investigation, implement an enforcement action, or collect taxes. CHECK CLASSES APPLIED FOR: Class and Fee A-1 $3,906.00 - Manufacturer of Beer A-1-A $3,906.00 - Beer and any Intoxicating liquor on an A1 or A2 premises (With A1 or A2 only) A-2 $76.00 - Manufacturer of Wine A-3 $3,906.00 - Manufacturer, import and sell alcohol and spirituous liquor. *If the plant's annual production capacity is less than 500 wine barrels of 50 gallons each, the FEE is $2.00 per barrel. A-3A A-4 B-2A D-6 S W Annual production (wine barrels) x $2.00 = is the A-3 Permit fee. Variable - Manufacturer of less than 10,000 gallons of spirituous liquor and sale to a personal consumer. The class fee is based upon the estimated first year production of $2.00 per each 50 gallon barrel. This class may only be issued in Cuyahoga, Franklin, and Hamilton County. Estimated barrel (50 gal. each) production x $2.00 = is the A-3A Permit Fee. $3,906.00 - Manufacturer and sell certain prepared and bottled drinks, import for blending purposes. $25.00 - Sale to retail permit holders (With A2 only) $500.00 - Sunday Sales of Wine (With A-1A or A2 only) $25.00 - Sale of wine via mail order to a personal consumer - (With A2 only) $1,563.00 - Manufacturer or supplier to store beer or intoxicating liquor for sale to B permit holders, or customers outside this state. SECTION A Type of Business: PARTNERSHIP INDIVIDUAL CORPORATION LLC OTHER SECTION B Applicant (Individual, Corporation, Limited Liability Company or Partnership): DBA (doing business as): Permit Premises Address: Township (if outside city limits): City: Zip Code: Residence Phone #: County: Business Phone #: Mailing Address: (Name, Street Address, City & Zip): Address: Phone # Attorney's Name: City, State, & Zip: Coder: CLASS FOR DIVISION USE ONLY REMARKS: RCPT# REVIEWER ACTION: Proc. Fee Pd: YES NO BCI Fee Amount Paid: $ _______ Taxing District: Permit Number Trans. Code DLC 4174 Bus. Type EOE/ADA SERVICE PROVIDER PAGE 1 FOR TTY USERS DIAL ORS 1-800-750-0750 REV. 12-2010 American LegalNet, Inc. www.FormsWorkFlow.com SECTION C - SHOULD BE ANSWERED ONLY IF APPLYING FOR A B-2a or S 1. Is the Manufacturer of wine entitled to a tax credit under 27 C.F.R. 24.278? YES NO 2. Does the manufacturer of wine produce less than 250,000 gallons of wine per year? YES NO YES NO YES NO YES NO YES NO 4. Do you own the real estate on which the proposed business will be located? If NO, return a completed a signed and dated copy of your LEASE OR RENTAL CONTRACT, OR SUMMARY OF TENANCY RIGHTS form (DLC form 4085). YES NO 5. Will the applicant be the sole owner of the business and equipment? If NO, and the fixtures or equipment are rented, submit signed and dated copy of rental agreement. YES NO YES NO YES NO SECTION D 1. Do you or any partner, office holder, managing member, 5% stockholder or member, spouse, or other person involved in this permit hold or have any interest in another permit business? If YES, Give permit number & address on the line provided 2a. Have you or any partner, office holder, managing member, 5% stockholder or member, spouse, or other person involved in this permit ever been convicted of a felony or misdemeanor, including any alcohol-related offenses? If YES, attach a written explanation. 2b. If applicant is a sole proprietor or partnership, will spouse work on the permit premises? If YES, indicate spouse's full name 3. Have you or any partner, office holder, managing member, 5% stockholder or member, spouse, or other person involved in this permit ever been refused a permit, denied a renewal, or had a permit revoked from another state, by this Division, or the Liquor Commission? If YES, attach a written explanation. 6. Will any person, partnership, LLC, or corporation, excluding banks or building and loan associations, have ANY financial interest (such as money, loans, installment contracts, property or other interest) or share in the profits in your business or your property, real or personal? If YES, attach an affidavit with details. NOTE: Ohio Revised Code Section 4303.293 provides a criminal penalty for failure to answer this question completely and correctly. 7. Do you or any partner, office holder, managing member, 5% stockholder or member, spouse of any such person, employee, or other person interested in the permit own any stock or have any financial interest in a retail permit holder or wholesale distributor of alcoholic beverages? If YES, attach a written explanation. DELIBERATE MISREPRESENTATION OF ANY OF THE INFORMATION ON THE APPLICATION CAN RESULT IN THE DIVISION'S REFUSING TO APPROVE THIS APPLICATION. NOTE: Your permit certificate is issued for a permit period that expires October 1st each year and is renewed annually on that date. If your permit is issued after April 1st, you will receive a 50% refund of the class fees paid, not including the $100.00 application fee. State of Ohio, County, ss I, being first duly sworn, according to law, depose and say that the statements (Please Print) and answers made in the foregoing application are true. ___________________________________________________________________________ _____________________ (Title) (Signature of Individual, Partner, Officer, Managing Member, or 5% or more Stockholder or Member) (Residence Address) (City) (State) (Zip Code) _______________ (Date) (Area Code & Telephone Number) (To be completed by Notary Public) Sworn to before me and subscribed in my presence this ______________day of _____________________________________, 20 _____________. ________________________________________ _______________ (Notary Public) (Notary Expiration) NOTE: ALL DOCUMENTS BECOME PART OF THE PERMIT FILE AND WILL NOT BE RETURNED PAGE 2 American LegalNet, Inc. www.FormsWorkFlow.com IMPORTANT - PLEASE READ FIRST Dear Applicant: The Division of Liquor Control (“Division”) is eager to process your application. In order to process your application in a timely and efficient manner it will be necessary for you to file a complete package in accordance with the items listed on the “Application Required Documents” check off sheet. Please follow and complete this list as you gather the items necessary for your transaction. If your application is filed without all of the documents, the application will not be accepted and will be returned to you. It is our goal to provide you with the most efficient and courteous service while processing your application. Your assistance in providing us with a complete application will ensure prompt service. In order to minimize inquiries regarding the status of your application, the following is an outline of the process used in completing your application. Once your application is received, provided all required documents are submitted, the following process begins: 1. The Division logs your application into a computerized system for processing. 2. The Division will send an Official Notice to the legislative authority of the municipality, city council, or township trustees and county commissioners of your application. Note: Any of these entities has the right to object to your application, provided that they do so within 30 days of that notification. The Division also sends a separate notice to the local law enforcement agency however they do not have a right to formally object to the issuance of your permit. 3. The Division works with the Ohio Bureau of Identification and Investigation (“BCI&I”) to have conducted a required background check on all persons involved in your business. In order for the Division and BCI&I to conduct this background check, you are required to provide the Division with the proper documentation/information so that a background check can be performed. Please see the enclosed Form DLC 4191 to determine whether you or persons involved in your business should submit a completed paper fingerprint card or be fingerprinted electronically via a “Web Check” system. 4. The Division will send the Personal History Background Form(s) you provided to the law enforcement agency in the municipality or township of your permit premises in order to have a background check conducted with them. 5. A Division Compliance Officer will contact you to set up an appointment to conduct an initial physical inspection of your premises. At the time your inspection is completed our compliance officer will survey the area surrounding the proposed permit premises to determine if there are any institutions such as schools, churches, libraries, public playgrounds, or township parks within 500 feet. By law, any of these institutions within 500 feet of your premises can object to the issuance of your permit within 30 days of notification. If the business is not in operation or the premises did not meet all requirements at the initial inspection, a final inspection will need to be conducted at a later date. Please allow two weeks when notifying the Division for a final inspection. 6. The Division will work with your County Board of Elections to determine the wet/dry status of your proposed permit premises. Note: This information is not needed on applications for transfer of ownership. 7. Where required, the Food Service Operation or Food Establishment License must be in the exact name as the liquor permit applicant. 8. Your permit certificate is issued for a permit period that expires October 1st each year and is renewed annually on that date. If your permit is issued after April 1st, you will receive a 50% refund of the class fees paid, not including the $100.00 application fee. It is our goal to process your application in a timely and efficient manner. Many factors determine the length of time it takes to complete the processing of your application. Your assistance in providing us with a completed application and necessary documents will help in accomplishing our goal. Bruce D. Stevenson Deputy Superintendent Page 3 American LegalNet, Inc. www.FormsWorkFlow.com REQUIRED DOCUMENTS FOR ACCEPTANCE OF A MANUFACTURER, BREWPUB, OR WAREHOUSE PERMIT APPLICATION Please use the list below to check off all items as you complete them to submit with the application packet CAUTION: ALLOW 10 TO 12 WEEKS FOR PROCESSING. FAILURE TO SUBMIT THE FOLLOWING DOCUMENTS MAY RESULT IN THE RETURN OF YOUR APPLICATION, UNRECEIPTED, WITH THE POSSIBLE LOSS OF PRIORITY ON THE QUOTA LIST. Application must be completed in full, all questions answered, signed, and notarized. Application: Application Processing Fee: $100.00 - Check made payable to Division of Liquor Control. Background Check: PLEASE READ "BACKGROUND CHECK INFORMATION" DLC4191 Personal History Background Form (DLC4121): Section A. ONLY must be completed in full for each stockholder or officer for whom a background check will be performed by the Ohio Bureau of Identification and Investigation (BCI&I). Submit copy of signed and dated lease, tenacy agreement, or may submit DLC Form 4085 "Summary of Tenancy Rights" completed in full. Lease or Tenancy Agreement: This form (DLC4096) is to be completed in full, attaching supporting documentation if necessary. Financial Verification: Only if applying for Class A1A, D1, D2, D3, D5, D5A, D5C, D5D, D5F, D5I, D5J, D5K, D5L, D5M, or D7 permit(s). Copy of Food Service Operator OR Food Establishment License: If fixtures and equipment are rented. Rental Agreement: REQUIRED DOCUMENT TO BE FILED WITH NON PROFIT ENTITIES To be filed with Governmental or Educational entities, or other non-profit businesses. Form must be completed in full. List the top five officer, including social security numbers. This form must be notarized. 4029 Form: REQUIRED DOCUMENTS TO BE FILED WITH CORPORATIONS ONLY 4030 Form (Corporation): Form must be completed in full. List the top five officers, including social security numbers. Indicate all stock holders over 5% including social security numbers. Indicate total shares issued. Must be notarized. Certificate of Good Standing From the Secretary of State: If not incorporated in the State of Ohio, submit a copy of CERTIFICATE OF AUTHORITY TO DO BUSINESS IN OHIO, issued by the Ohio Secretary of State. If corporation is nonprofit, submit a Certificate of CONTINUED EXISTENCE from the Ohio Secretary of State. Ohio Secretary of State: (614) 466-3910 or 1-877-767-3453 - www.sos.state.oh.us REQUIRED DOCUMENTS TO BE FILED WITH PARTNERSHIPS 4031 Form (Partnership): Form must be completed in full. Indicate all partners including social security and/or Tax ID numbers. Limited Partnerships need only indicate general partners. Must be notarized. Partnership Agreement (if general partnership): If name is different from and not including the names of all partners. Must be dated within one year of the filing of this application. Certificate of Fictitious Name from the Secretary of State Ohio Secretary of State: (614) 466-3910 or 1-877-767-3453 www.sos.state.oh.us REQUIRED DOCUMENTS TO BE FILED WITH LIMITED LIABILITY COMPANIES 4032 Form (LLC): Form must be completed in full, indicating all members with 5% or more membership or voting interest, all managing members, and officers, if applicable, including social security numbers. Must be notarized. Certificate of Organization from the Secretary of State Ohio Secretary of State: (614) 466-3910 or 1-877-767-3453 www.sos.state.oh.us Page 4 American LegalNet, Inc. www.FormsWorkFlow.com ADDITIONAL DOCUMENTATION THAT MAY BE REQUESTED DURING THE PROCESSING OF YOUR MANUFACTURER, BREWPUB, OR WAREHOUSE PERMIT APPLICATION, EXCEPT CLASSES D-3A, D-6, and D-8 ADDITIONAL INFORMATION: 1. When filing as an individual, make certain you indicate the "individuals name" under Section B on page 1 of the application. The name of the actual business may then be listed under "DBA" (doing business as). 2. All individuals and partners must have U.S. Citizenship. (This does not apply to stockholders in a corporation, or members in an LLC). 3. ISSUANCE OF PERMITS IS SUBJECT TO THE WET OR DRY STATUS OF THE LOCATION, AND MAY BE SUBJECT TO THE EXISTENCE OF AN OPENING UNDER THE QUOTA. 4. Return the application, all fees, and all required documents to: OHIO DEPARTMENT OF COMMERCE - DIVISION OF LIQUOR CONTROL 6606 TUSSING ROAD, P.O. BOX 4005 REYNOLDSBURG, OHIO 43068-9005 WARNING: NO permit will be issued until the proposed business is ready for operation and meets Division regulations. ALL CONSTRUCTION OR REMODELING COSTS ARE AT THE APPLICANT'S RISK, AS THE DIVISION CANNOT GUARANTEE THE ISSUANCE OF A PERMIT. PAGE 5 American LegalNet, Inc. www.FormsWorkFlow.com